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Displaying 31-35 out of 35 results for "Introduction to ETFs".

SLCG Research: Mutual Fund's Term

SLCG released today 'What Does a Mutual Fund's Term Tell Investors?'

Bond mutual funds are classified by Morningstar as ultra short, short, intermediate or long-term. Bond mutual funds have found a way to hold long-term bonds while being classified as ultra-short or short.

In this paper, we demonstrate how the losses suffered by these funds in 2008 can be explained by the increasing credit risks of holding long-term bonds. Furthermore, we find that the classification of these funds as...

FINRA Press Release: Provident Asset Management

Dallas-based Provident Asset Management Expelled for Marketing Fraudulent Private Placements Offered by Affiliate in Massive Ponzi Scheme

The Financial Industry Regulatory Authority (FINRA) issued a press release today announcing that

"it has expelled Provident Asset Management, LLC, a Dallas-based broker-dealer, for marketing a series of fraudulent private placements offered by its affiliate, Provident Royalties, LLC, in a massive Ponzi scheme."

A Ponzi scheme is a fraudulent scheme...

FINRA Fines H&R Block Financial Advisors

FINRA Fines H&R Block Financial Advisors $200,000 for Inadequate Supervision of Reverse Convertible Notes Sales, Suspends and Fines Broker for Unsuitable Sales to Retired Couple

The Financial Industry Regulatory Authority (FINRA) issued a press release today announcing that it had

[fined] H&R Block Financial Advisors, Inc., (n/k/a Ameriprise Advisor Services, Inc.) $200,000 for failing to establish adequate supervisory systems and procedures for supervising sales of [reverse convertible...

FINRA Regulatory Notice: Reverse Convertibles

FINRA Reminds Firms of Their Sales Practice Obligations With Reverse Exchangeable Securities (Reverse Convertibles)

The Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 10-09 reminding financial firms selling reverse convertibles notes (RCN) to provide fair and balanced sales materials and communications, including proper statement on the risks associated with such notes.

In an upcoming SLCG study on RCN, we have found that investors of RCNs have been...

FINRA Regulatory Notice: Variable Annuities

FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable Annuities

The Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 10-05 reminding firms of their responsibilities concerning deferred variable annuities. Annuities can carry costs and risks that many investors may not be aware of because brokers who are incentivized by commission-generation do not make them clear to investors. Costs...

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